Broker-Dealer Compliance Analyst

Wellington Management Co; Boston (MA); On-site; USD 80,000 - 150,000; Full time

Job summary

Wellington Management Company seeks a Compliance Analyst to support its broker-dealer compliance program within the Legal & Compliance group. The role focuses on governance, policies, registration support, and regulatory training for client-facing personnel.

Qualifications include 2–4 years in broker-dealer compliance, familiarity with FINRA rules, and strong analytical and communication skills. The firm offers a collaborative, long-term orientation and a comprehensive benefits package.

Qualifications

• 2-4 years of broker-dealer compliance experience and a bachelor’s degree.
• FINRA designations (SIE, Series 7, Series 24) a plus.
• Familiarity with FINRA rules and Investment Advisers Act relevant to US sales and marketing.
• Ability to manage multiple initiatives; proactive and well-organized.
• Strong attention to detail and excellent written/oral communication.
• Experience with data analysis tools.

Responsibilities

• Provide compliance support to Wellington Funds Distributors Inc. (WFD).
• Maintain policies and procedures related to broker-dealer and sales & marketing activities.
• Support registration process for broker-dealer registered reps.
• Assist with Compliance testing related to broker-dealer and marketing procedures.
• Assist regulatory training of client-facing personnel.
• Stay informed of regulatory changes and industry trends.
• Assist in responding to regulatory inquiries or examinations, as appropriate.

Skills

Broker-dealer compliance

Data analysis tools

Attention to detail

Communication skills

Regulatory knowledge

Questioning mindset

Education

Bachelor’s degree

Job description

Wellington Management Company seeks a Compliance Analyst to support its broker-dealer compliance program within the Legal & Compliance group. The role focuses on governance, policies, registration support, and regulatory training for client-facing personnel.

Qualifications include 2–4 years in broker-dealer compliance, familiarity with FINRA rules, and strong analytical and communication skills. The firm offers a collaborative, long-term orientation and a comprehensive benefits package.